Connect capital and
opportunity. Grow your
business. We’re here
to support you.
We have the technology, data and team to help you source opportunities,
engage with companies and investors, manage your sales process, run
marketing campaigns, and collaborate with other Affiliate Partners (APs).
engage with companies and investors, manage your sales process, run
marketing campaigns, and collaborate with other Affiliate Partners (APs).
The
Stonehaven
Advantage
ABOUT AFFILIATE PARTNERS
What is an
What is an
Affiliate
Partner?
Our APs are trusted investment banking and placement agent teams that strategically connect capital and opportunity. APs can work both individually and collaboratively to originate and execute for clients on our platform.
VALUE PROPOSITION
Our Value Proposition
Broker-Dealer Services
- Best-in-class infrastructure with a highly experienced team and deep RegTech integration in NEXUS
- FINRA member firm and SEC registered broker-dealer for >20 years with a strong legal and compliance foundation to support a wide range of activities in domestic and international markets
- Client onboarding support through the contracting and due diligence process with clean workflows and expert guidance
- Transaction close-out process managed through NEXUS, integrating legal, compliance, and accounting frameworks
- Direct coordination with clients to reconcile transactions, calculate fees, collect payments, calculate payouts and report on all accounting
Collaboration
- Collaborative ecosystem of APs who leverage origination and distribution synergies across the platform to expand their businesses
- Ever-growing community of APs who bolster the platform’s origination and distribution capabilities across various asset classes, investor demographics, and geographies
- Platform-wide and sub-community calls & events
- APs and live mandate profiles in NEXUS to help identify synergies with intelligent analytics and filtering
- Cross-marketing facilitation in NEXUS to form AP-to-AP agreements and approve investor lists for each client
- Pipeline management tools to provide mandate originators real-time transparency into a collaborator’s pipeline, sales activity, and transactions
- Best practice guides to optimize outcomes
Sales Management
- NEXUS tools to track pipelines, client approvals, sales activity, and transactions
- Reporting tools built into the system to update salespeople and clients real-time with customizable filters and reports
- Coming Soon: Collaboration tools with clients and investors on our upcoming Client and Investor Portals
Investment Offering Marketplace
- Content management tools for live mandates in NEXUS to attract potential distribution partners
- Database of potential investment offerings across the platform to identify distribution opportunities
- Coming Soon: Investor Portal with interactive tools to interface with pre-existing relationships and generate new leads
Email Marketing Services
- NEXUS tools to create email campaigns and dynamically manage distribution lists
- Ability to track open and click engagement tied to your pipeline
Data
- Proprietary community-sourced data model with read/write access for APs to work on an incredibly robust and constantly improving database
- Private sales engagement data with intelligent exceptions for opt-in collaboration
- Onboarding facilitation to quickly integrate into the system
- Publicly available information continually scrubbed by the data team
Supporting Foundation
- High-quality onboarding, support and training
- Training guides and videos
- Best-in-class technology and data security framework on NEXUS
Getting Started
Our streamlined onboarding process makes integrating into our platform quick and simple:
Set up
2
Set up an intro call and demo with our team
Formalize
3
Formalize your agreements with our team
Ramp Up
4
Ramp up your onboarding process leveraging our NEXUS onboarding workflow
Complete
5
Work with our team to complete legal, compliance, operations, technology and accounting onboarding
Meet
6
Meet our community and identify synergies
Start
7
Onboard mandates and start executing
Frequently asked questions
FAQ
What fees does Stonehaven charge?
We charge APs based on a sliding scale of gross commissions per year per person. We charge additional fees for sourcing mandates, facilitating cross-marketing and supporting BD-to-BD agreements. We have nuanced economics for broker-dealer exempted transactional activity. We also charge a modest fee for our technology platform primarily to cover the licensing costs we incur on behalf of our APs. We always strive to be the best value amongst broker-dealer platforms, not the cheapest. Please contact us directly for further details.
What expenses does Stonehaven pass through?
We pass through regulatory licensing costs, certain legal costs, and outside service providers specific to an AP’s activity. Please contact us directly for further details.
What are the regulatory requirements to operate as an AP?
APs must be registered representatives of Stonehaven’s broker-dealer with requisite licenses based on the type of activity and level of supervision. APs need their Series 7, 79 and/or 82 + 63 for most activities. All mandates are established with tri-party agreements among the AP, Stonehaven and the end client, which are subject to approval after legal and due diligence review. Sales activity and transaction closings must be conducted according to defined protocols within our NEXUS technology operating system, tracked and overseen by Stonehaven. All gross revenues are processed through the broker-dealer, and net revenues are paid directly to registered representatives. Continuing education requirements must be met. All outside business activity and private securities transactions must be pre-approved and monitored by Stonehaven. Please note that regulatory requirements can be complex based on the scenario and jurisdiction. The aforementioned items are not a complete universe. For more comprehensive information, please contact us directly.
Does Stonehaven offer chaperoning services to investment banks and placement agents based outside the United States?
Yes. Further, our infrastructure, technology and community offer a unique value proposition that goes far beyond facilitating compliant access to US investors.
What does Stonehaven look for when evaluating a potential AP?
We look for a combination of strong origination and distribution capabilities and experience. Additionally, we look for potential APs with solid business ethics, a strong professional reputation, and a collaborative approach to business.
Why join a broker-dealer as opposed to starting a new broker-dealer?
Running a broker-dealer compliantly, efficiently, and profitably requires significant resources and extensive experience. In addition, the ever-evolving regulatory environment increases the level of complexity that needs to be intelligently managed for even the most seasoned professionals. No small or medium size investment bank or placement agent would possibly justify the level of resources we invest into our infrastructure and technology. Our infrastructure enables APs to save significant time and money while receiving best-in-class resources, and our NEXUS technology platform acts as an operating system for our APs to manage their entire business. We enable our APs to purely focus on originating and executing on mandates. Further, we enable our APs to generate more revenues than they could away from our platform through cross-marketing origination and distribution synergies.
What is cross-marketing, and how does it work?
Cross-marketing occurs when an AP that originates a mandate works with a participating AP to assist them in executing on a mandate. Stonehaven encourages and supports cross-marketing through technology, workflows, and community. Our NEXUS technology enables APs to source additional APs fit for a given mandate or conversely helps APs to source mandates to work on. Further, NEXUS provides a comprehensive set of tools for originators and participants to collaborate: straight though processing of the contractual cross-marketing contractual framework, investor coverage allocations and pipeline monitoring. We carefully curate our community to widen and deepen origination and execution capabilities across asset classes, and we host a variety of monthly and quarterly group events to build relationships and share information.
How are APs branded in the marketplace?
APs run their own independently branded businesses which allows them to build differentiated identities in the marketplace, each with a different approach toward product mix and target investor audience. Maintaining unique brands allow each AP to simultaneously interface with overlapping investors while maintaining distinct direct relationships and mitigating any confusion at the investor level.
How long does it take to transition an AP onto Stonehaven's platform?
While each on-boarding transition is unique, we aim to run a highly systematic process taking between two and six weeks contingent on the head count, number of mandates to onboard, existing registrations in place with FINRA, IT specifications, locales, and other factors related to each prospective AP.
Stonehaven takes pride in approaching each transition with comprehensively mapped out timelines, correlating checklists, and delegated task ownership prioritized across the spectrum of items to be addressed from start to finish. This process is managed by our Partner Success team which act as a quarterback corralling resources across the organization in a streamlined fashion driven by software workflows.
Effective management of expectations is critical for all parties, and Stonehaven’s comprehensive on-boarding execution ability facilitates transitions to minimize the potential impact on revenue generating activities.
Stonehaven takes pride in approaching each transition with comprehensively mapped out timelines, correlating checklists, and delegated task ownership prioritized across the spectrum of items to be addressed from start to finish. This process is managed by our Partner Success team which act as a quarterback corralling resources across the organization in a streamlined fashion driven by software workflows.
Effective management of expectations is critical for all parties, and Stonehaven’s comprehensive on-boarding execution ability facilitates transitions to minimize the potential impact on revenue generating activities.
What role does Stonehaven play in helping form contracts with AP mandates?
Stonehaven plays an integral role in assisting APs structure and negotiate referral agreements with clients, leveraging extensive experience navigating the negotiations process over scores of agreements. APs start the mandate contracting process by completing a workflow in NEXUS that helps define the terms, and then our General Counsel’s team customizes the contract for the AP to preview and approve before presenting to the client. Stonehaven works intensively with external counsel to ensure that foundational language in our library of template agreements is comprehensive, fair, and reflects insights into current regulatory frameworks. APs retain ownership of decision making on commercial terms, and Stonehaven ensures that all compliance and other terms are addressed accordingly. This results in a significant reduction in legal expenses for our APs while strengthening the legal integrity and consistency of our revenue sharing agreements across this platform. This demonstrates an institutional approach to each prospective client while helping to mitigate commercial and regulatory risks inherent to maintaining a broad spectrum of contract formats and provisions.
What is the due diligence approval process for AP mandates?
Stonehaven’s dedicated mandate management team conducts comprehensive upfront and ongoing due diligence on all clients on the platform. Our diligence process is highly dynamic based on the type of mandate, and we embrace technology and workflows to efficiently manage the process. Clients must meet high institutional standards, properly present their information, and have a strong reputation in the marketplace.
What are the advantages of setting up an independent firm on our platform versus working in-house at an investment bank or asset management organization?
Running an independent business enables each AP to represent their own diversified set of clients with clearly defined economic terms, be nimble and identify new opportunities to shift with the marketplace, and establish a distinct voice and brand in the marketplace. These factors facilitate strong relationships with both clients and investors.
Does Stonehaven provide business advice to investment banks and placement agent businesses that are launching or growing their business on the platform?
Yes. As a foundation we provide excellent infrastructure and a constantly improving technology architecture to help support a very wide range of activities. We are aligned with APs to help them grow their business, win new clients, collaborate with other APs, close transactions, and collect revenue. We roll up our sleeves to help APs strategize on hundreds of nuances within each of their respective businesses and share our best practices based on our ever-expanding industry experiences and insights. We also continually refine workflows, user interfaces, data, etc. in our NEXUS technology platform based on feedback from our APs to streamline the capital markets process. Importantly, we have built a considerable team dedicated to supporting our APs.
How much working capital does an AP need to start a new capital raising venture?
While prospective APs with recurring revenue streams are an ideal fit, Stonehaven knows from experience that some of the most successful APs start off as new ventures. Prospective APs launching their business should have ample working capital available to provide enough runway in order to build a pipeline, close placements, generate revenue, and allow clients time to make payments after closing transactions. For newly launching businesses, Stonehaven believes it is prudent to conservatively assume that it takes approximately a year to start producing material revenues and possibly longer to achieve profitability depending on a variety of factors. The day-to-day cost of running a capital raising business can vary depending on the business model, and living costs must always be factored in as well.
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